Starting the SAP Assessment Process
SAP Assessment Overview
DOT regulated job applicants as well as current and former employees may self-refer to begin the SAP process. In the case of a current DOT regulated employee who self-reports a drug or alcohol problem, independent of the DOT testing process or drug or alcohol violation, that employee would be treated as a non-DOT mandatory referral and some of the DOT requirements will not apply. Non-DOT employees who are mandated by the employer to complete the SAP process, may self-refer or be referred by an EAP provider, an insurance provider or the employer directly.
A current or former DOT regulated employee or DOT job applicant seeking SAP services or a third-party such as an employer or EAP program, must contact the SAP’s office directly to initiate services. Contact options are provided in the Contact Me link noted above. An employer referral form is also located in the link section of the Resources page.
In the case of a DOT referral, a SAP Statement of Understanding, signed by the current or former employee or job applicant, and full payment of the SAP assessment fee is required to begin the assessment process. Fees for non-DOT referrals are negotiated on a case by case basis.
If required by the SAP, the DOT regulated current or former employee or job applicant must register with the SAP in the FMCSA Clearinghouse whenever a drug or alcohol violation has been reported to the Clearinghouse.
To register with T. Dianne Macpherson, DOT qualified SAP in the FMCSA Clearinghouse, search with the exact spelling last name only “Macpherson". Self-report of a drug or alcohol problem by a DOT regulated employee, not part of the DOT testing process without a DOT drug/alcohol violation, is not considered a DOT violation and therefore, not reported to the Clearinghouse.
In the case of failed or refused DOT drug/alcohol tests, the current or former employer is required to provide a list of local SAP providers to the employee or job applicant, regardless of whether the employee is still employed or terminated.
DOT regulated current employees should verify the contact information for any current employer or Consortium/Third-Party Administrator (C/TPA) who will receive the SAP reports and follow-up testing plan. An employer referral form is located in the links section of the Resources page. Self-employed CDL owner/operators must be registered with a C/TPA in the FMCSA Clearinghouse, which coordinates the provision of drug and alcohol testing services to many CDL employers or independent owner/operators.
A copy of the failed or refused DOT drug/alcohol test will be required to complete the assessment. This information may be provided by the current or former employer, driving school or the lab, which certified the test results. Consultation with the Medical Review Officer (MRO) may also be required on a case by case basis.
In the case of DOT referrals, there is no required signed consent for release of information for the SAP to communicate with the current employer, the lab or the MRO (Medical Review Officer, or recommended education or treatment program although these consents may be executed to avoid any confusion or misunderstandings. In the case of non-DOT referrals, a consent for release of information signed by the employee will be required to communicate any Protected Health Information (PHI) to the referral source or intermediary. In all cases, reported PHI is limited to the minimum information necessary to verify the status, recommendations and completion of the requirements by the employee.
Employers or employees needing additional information may contact the SAP for further assistance.